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FINRA Fines Barclays Capital Inc. $1.3 Million for Extensive OATS Reporting Violations

Traders Magazine Online News, August 4, 2016

John D'Antona Jr.

The Financial Industry Regulatory Authority (FINRA) announced that it has fined Barclays Capital Inc. $1.3 million for systemic Order Audit Trail System (OATS) reporting violations and related supervisory failures.

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